Overview
Analyst-Compliance Jobs in United States at Amex
Description:
Horizon Technology Finance Management LLC, an affiliate of Monroe Capital and a leading specialty finance company, is seeking an attorney with experience working with the Investment Company Act, Investment Advisers Act and Securities Act and related compliance regulation, to join our legal team.
Candidates will ideally have experience practicing with a law firm, investment advisory firm, or government agency.
Responsibilities and Duties:
Provide counsel and advice to management on regulatory compliance with the Securities Act, Investment Company Act and Investment Advisers Act;
Draft and review, as well as ensure timely and accurate filing of, various Securities Act, Investment Company Act and Investment Advisor filings, including 8-ks, registration statements, proxy statements, and ADVs;
Draft and prepare agendas, resolutions, agreements, policies and procedures, and other materials for business development company and investment company board meetings and draft and prepare related minutes;
Draft, review, and prepare registration statements for new products or annual updates to fund registration statements;
Serve as a legal resource by providing guidance on issues concerning regulated investment companies, investment advisors, and related entities, including regulatory compliance and co-investment issues;
Support fund governance matters, assist with day-to-day oversight of legal matters and coordinate with external counsel; and
Assist on other departmental projects and tasks as assigned.
Disclaimer
The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all responsibilities, duties, and skills required of personnel so classified. All personnel may be required to perform duties outside of their normal responsibilities from time to time, as needed.
Requirements:
Requirements·
J.D. from accredited law school, with strong academic track record;
Admitted to practice of law and in good standing in Connecticut, Illinois, New York or California;
3 – 5 years of experience working with the Securities Act, Investment Company Act of 1940 and Investment Advisers Act related securities laws and regulations;
Knowledge or experience in Securities Act, Investment Company Act and Investment Advisers Act matters and other general legal matters;
Excellent verbal and written communication skills and strong attention to detail; and
Ability to work well independently and as a member of a team on multiple tasks simultaneously in a deadline driven environment.
Compensation: It is expected that the base salary range for this position will be $200-250,000. Actual salaries may vary based on factors such as skills, experiences and qualifications for the role. The total compensation package for this position may also include other elements and discretionary awards in addition to a full range of medical, financial and / or other benefits (including 401(k) eligibility and various paid time off benefits such as vacation, sick time and parental leave) dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment. If hired, the employee will be in an ‘at-will position’ and the Firm reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time including for reasons related to individual performance, Firm or individual department / team performance and market factors.
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Title: Analyst-Compliance
Company: Amex
Location: United States
